SEC Form 4 · accession 0000775158-16-000302
OSHKOSH CORP · OSK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark M Radue
Officer — Senior VP Business Development
Period of report
Aug 2, 2016
Accepted (ET)
Aug 3, 2016 · 6:01 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000775158
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Aug 2, 2016 | M | 2,000 | $49.98 | A | 39,911 | D | |
| Common StockF2,F3 | Aug 2, 2016 | S | 2,000 | $53.35 | D | 37,952 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| OptionsF4,F5 | $49.98 | Aug 2, 2016 | M | 2,000 | D | — | Oct 18, 2016 | Common Stock | 2,000 | 0 | D |
Explanation of responses
- F1Reporting Person completed a cashless exercise of OSK stock options granted to Reporting Person in 2006 and due to expire on October 18, 2016.
- F2Represents weighted average price. Individual sales by lot ranged from $53.32 to $53.35. The Company will provide, upon request by the SEC staff, the full information regarding the number of shares purchased or sold at each separate price.
- F3Amount includes a total of 2,606.54 shares acquired under the Oshkosh Corporation Employee Stock Purchase Plan through 8/3/2016. Between 5/18/2016 and 8/3/2016, the reporting person acquired 41.15 shares under the Oshkosh Corporation Employee Stock Purchase Plan.
- F4Option (right to buy) granted pursuant to the Company's Stock Plan.
- F5Options vest in one-third (1/3) annual increments commencing on 9/18/2007.